Helping Achieve the Goal of Clean Water

A N N UA L R EPORT
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2011-2012
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Helping
Achieve
the Goal of
Clean Water
...financially
Annual Report
Clean Water State Revolving Fund
STATE FISCAL YEAR 2011-
2012
(July 1, 2011 - June 30, 2012)
California Environmental Protection Agency
STATE WATER RESOURCES CONTROL BOARD
DIVISION OF FINANCIAL ASSISTANCE • 1001 I STREET • SACRAMENTO, CA 95814
C A L I F O R N I A
WA T E R
B OA R D S
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Our Vision
Abundant Clean Water for human uses and
environmental protection to sustain
California’s future.
Our Mission
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To preserve, enhance, and restore the quality of California’s
water resources, and ensure their proper allocation and efficient
use, for the benefit of present and future generations.
achieve the goal
The State Water Resources Control Board (State Water Board)
was created in 1967. The mission of the State Water Board is to
ensure the state’s water quality and to balance its beneficial uses. Its
comprehensive authority over allocation, planning, and enforcement
enables the State Water Board to protect California’s water quality.
The State Water Board consists of five, full-time salaried Members, each
filling a different specialty position. Each board member is appointed
to a four-year term by the Governor and confirmed by the Senate.
There are nine Regional Water Quality Control Boards (Regional
WaterBoards). The mission of the Regional Water Boards is to
develop and enforce water quality objectives and implement plans
that protect the beneficial uses of the state’s waters, recognizing
local differences in climate, topography, geology, and hydrology.
Each Regional Water Board has seven, part-time Members also appointed by
the Governor and confirmed by the Senate. Regional Water Boards develop
“basin plans” for their hydrologic areas, issue waste discharge permits,
take enforcement action against violators, and monitor water quality.
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About the State and
Regional Water Boards
Table of Contents
A N N UA L R EPORT
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2011 -2012
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I. INTRODUCTION...............................................................
5
II. PROGRAM SUMMARY...................................................... 7
III. PROGRAM GOALS AND FINANCIAL RESULTS............. 10
A. Short-Term Goals.............................................................................................................. 10
B. Long-Term Goals.............................................................................................................. 12
C. Operating Agreement and Capitalization Grant Conditions............................14
D. Financial Activity.............................................................................................................. 18
IV. ENVIRONMENTAL BENEFITS......................................
22
A. Projects in SFY 11/12 Will Help Achieve B. CWSRF Projects Achieve Multiple Benefits........................................................ 22
C. Highlights of Projects Funded by CWSRF in SFY 11/12................................ 26
and Maintain Clean Water Act Goals................................................................... 22
V. GENERAL PROGRAM COMMENTS...............................
27
VI. INDEX OF ACRONYMS..................................................
29
VII. EXHIBITS......................................................................
30
Exhibit A – DBE Report......................................................................................................... 31
Exhibit B – SFY 11/12 Projects Funded by Needs Category....................................... 32
Exhibit C – SFY 11/12 Non-Funded Projects............................................................... 34
Exhibit D – SFY 11/12 List of all Projects with Financing Servicing Fees............. 36
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CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
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I.
I. Introduction
This is the California Clean Water State Revolving Fund
(CWSRF) Program’s Annual Report for State Fiscal Year (SFY)
11/12 (July 1, 2011 through June 30, 2012). California provided
approximately $785 million in low cost financing to 48 projects
in SFY 11/12 that represent a wide variety of projects eligible
for the CWSRF Program. This report describes how the State
Water Board met the objectives for the Program identified
in the Federal Fiscal Year 2012 Intended Use Plan (IUP).
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CWSRF Annual Report SFY 2011-2012
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A N N UA L R EPORT
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Region 2: Union Sanitary District – Primary Clarifier
Rehabilitation Project / Project Cost - $8,821,860
Region 1: Russian River County Sanitation District Disinfection Upgrade Project / Project Cost - $3,884,450
Region 6: South Tahoe Public Utility District – New Wastewater
Plant Headworks Replacement / Project Cost – $876,353
Region 8: El Toro Water District – Northline Lift Station
Improvement Project / Project Cost – $3,918,590
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Region 6: South Tahoe Public Utility District – Luther Pass
Pump Station Backup Generator / Project Cost – $2,611,994
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CWSRF Annual Report SFY 2011-2012
Region 8: Eastern Municipal Water District - Temecula
Valley Regional Water Reclamation Facility – Future
Secondary Clarfier Location / Project Cost – $18,422,420
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II. Program Summary
The federal Clean Water Act provides states the opportunity to establish
a CWSRF Program to help each state achieve the goal of clean water. The
CWSRF is capitalized with federal and state funds. The CWSRF provides affordable
financing for 1) construction of publicly owned wastewater infrastructure, 2)
addressing non-point sources (NPS) of pollution, and 3) development and
implementation of plans to protect important estuaries. Further information about
the Program can be found at the State Water Board’s Grants and Loans website
at http://www.waterboards.ca.gov/water_issues/programs/grants_loans/.
The CWSRF has protected and promoted the health, safety, and
welfare of Californians since 1989. Many CWSRF recipients use their
financing to address water quality violations and the associated enforcement
actions by the Regional Water Boards. Every project financed by the
CWSRF is directly related to improving water quality or public health.
The revolving nature of the CWSRF creates asset and revenue growth. As of
June 30, 2012, the total available to the CWSRF for financial assistance since inception
of the Program was $6.172 billion including funds from the American Recovery and
Reinvestment Act of 2009 (ARRA). The State Water Board committed approximately
104 percent of all available funds to projects through executed financing agreements
(binding commitments). The State Water Board disbursed about 87 percent of all
available funds to financing recipients as of June 30, 2012. Cumulative Program
activity from inception through the end of SFY 11/12 is shown in Table 1 below. TABLE 1: CUMULATIVE PROGRAM ACTIVITY 1
Activity
Life of Program
Number of Financing Agreements
618
Value of All Financing Agreements $6.402 billion 2
Disbursements Processed $5.361 billion 2
Balance of Financing Agreements $1.041 billion 2
(1) Program activity includes matching funds provided by financing recipients. (2) Amount includes ARRA funds.
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II.
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II.
Program Summary ............... continued
FIGURE 1: CWSRF Funding By Project Type
100
94%
80
60
40
20
6%
0
Wastewater Infrastructure
(CWA Section 212)
Over the next several years, the State
Water Board plans to disburse the
outstanding balance of the existing
commitments, depending on the
construction or implementation
schedules of the projects financed. The CWSRF Program will use
assets not restricted for other
purposes and future revenue to
fulfill these commitments. Future
revenue includes repayments
from existing receivables,
federal capital contributions,
state capital contributions,
and investment earnings.
Nonpoint Source and Estuary
(CWA Section 319 and 320)
The State Water Board operates
the CWSRF Program on a cash flow
basis. State Water Board staff is
continually accepting, reviewing,
and approving applications for
new projects. The CWSRF can also
leverage its revenue if necessary to
finance projects. The CWSRF accepts
applications continuously, and
State Water Board staff is currently
working with numerous applicants
to make additional commitments
in SFY 12/13. The CWSRF IUP,
updated at least yearly, forecasts the
projects likely to be financed over
the short term. The FFY 2012 IUP
provides the Board’s most recent
forecast of financing activity.
The CWSRF is used for a broad
range of projects. Figure 1
illustrates the breakdown of funding
since Program inception for the
two main categories of projects:
1) wastewater infrastructure, 2)
non-point and estuary source
pollution prevention and reduction
projects. Non-point source and
estuary funding are combined
into one category in Figure 1
because they are closely related.
As seen in Figure 1, most funds
were used to construct and improve
wastewater infrastructure, with
the remainder of the funds used
for NPS and estuary projects.
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CWSRF Annual Report SFY 2011-2012
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FIGURE 2: CWSRF Funding Categories
0.6%
2.6%
0.5%
3.8%
7.9%
27.5 %
27.5 % - I. Secondary Treatment
57.1 % - II. Advanced Treatment
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Figure 2 (below) provides a further breakdown of the main categories of projects. The top six uses, accounting for
approximately 90 percent of the funds used, are all infrastructure categories. This demonstrates the CWSRF’s vital role in
maintaining California’s water quality infrastructure. 57.1%
0.5 % - III A. Infiltration/Inflow
7.9 % - III B. Sewer System Rehabilitation
2.6 % - IV B. New Interceptors
0.6 % - VII L. Individual/Decentralized Systems
3.8 % - X. Recycled Water Distribution
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A N N UA L R EPORT
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2011 -2012
III.
III. Program Goals and Financial Results
A. SHORT-TERM GOALS
The State Water Board established the following short-term goals in the FFY
2012 IUP. The FFY 2012 IUP was adopted on March 20, 2012. This section
discusses the results of the CWSRF Program’s efforts to meet those goals.
1. Prepare and review cash
management reports
Good cash flow management requires careful
and regular monitoring of disbursements
and receipts. State Water Board staff reviews
management reports at bi-monthly internal
finance/audit committee meetings that
summarize the CWSRF’s current finances.
State Water Board staff also routinely
monitors cash flow as part of the financing
approval process. The effect of the estimated
disbursements of each project on the
Program’s overall cash flow is analyzed before
financing is approved for the project.
2. Continue regular finance/
audit committee meetings
State Water Board staff conducted finance/
audit committee meetings on September 29,
2011, November 30, 2011, January 26, 2012,
March 19, 2012 and May 31, 2012. Standing
topics at these meetings included:
• Reviewing cash flow of projects
3. Accept additional capitalization grants
The State Water Board accepted FFY 2011
Capitalization Grant on September 27, 2011
awarded for $105,570,800. The State Water
Board submitted its federal fiscal year (FFY)
2012 Capitalization Grant application on April
23, 2012. The United States Environmental
Protection Agency (US EPA) awarded the
grant for $101,080,000 to the State Water
Board on July 18, 2012. The State Water
Board will provide the necessary state match
through excess state bond funds and local
match contributions to the Program.
4. Apply for additional
capitalization grants
The FFY 2013 Grant is estimated to be $48.6
million. The State Water Board expects to submit
its grant application to US EPA in October 2012. The State Water Board will provide the necessary
state match through excess state bond and
local match contributions to the Program.
5. Prepare Annual Report
and Audit for SFY 11/12
Audited financial statements for the year
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•
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under contract, three and six month
cash flow projections, and cash flow
needs for upcoming projects.
Comparing actual performance with
target performance measures.
Reviewing audit issues, program control
issues, and plan for upcoming audits.
CWSRF Annual Report SFY 2011-2012
ending June 30, 2012 will be completed by
September 30, 2012 and will be made available
on the Board’s Web site. This report and the
audited financial statements complete the
Annual Report requirement for SFY 11/12.
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6. Provide funds for projects that
support the Water Boards’ priorities
Section IV and Exhibit B provide further
details about the projects funded by
the CWSRF Program in SFY 11/12.
7. Adopt the FFY 2012 IUP
The 2012 IUP was adopted by the State Water
Board on March 20, 2012. It guided the
marketing and assistance efforts targeting the
Water Boards’ highest priorities in FFY 2012.
8. Amend the CWSRF Policy
The work of improving the application process
and revamping the priority system continued
through 2012. Work is expected to wrap
up in 2013, at which time the CWSRF Policy
amendment, reflecting the streamlining
and improvement recommendations
from staff, will be presented to the State
Water Board for its consideration.
9. Enter data for the quadrennial Clean
Watersheds Needs Survey (CWNS)
The CWNS provides basic information about
the market and need for CWSRF financing. The
State Water Board continued to input data for
the 2012 CWNS throughout FFY 2012. The State
Water Board’s efforts on the CWNS are expected
to continue into FFY 2013. The results of the
2012 CWNS are expected from US EPA in 2013
10. Report activities supporting
US EPA Strategic Plan
During SFY 11/12, the State Water Board
continued to report activities that support US
EPA strategic goals via its CWSRF Annual Report,
Clean Water Benefits Reporting System (CBR), and
Clean Water National Information Management
System (CW NIMS). State Water Board staff began
reporting via the Federal Funding Accountability
and Transparency Act (FFATA) Reporting System
after receipt of the FFY 2011 Capitalization Grant.
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11. Provide 20 percent of CWSRF
funds in the form of Extended
Term Financing (ETF)
ETF makes financing more affordable by
reducing debt service by approximately 25
percent. The State Water Board provided 12
percent of its CWSRF financing during SFY
11/12 in the form of ETF to eligible recipients. The State Water Board also received approval
from US EPA to offer ETF to communities that
are regionalizing their wastewater treatment
infrastructure; the State Water Board offered
8 percent of its financing during SFY 11/12
as ETF for regionalization projects.
12. Application Process Improvements
Work on this goal resumed during SFY 11/12. Work is expected to wrap up in 2013, at
which time the CWSRF Policy amendment,
reflecting the streamlining and improvement
recommendations from staff, will be presented
to the State Water Board for its consideration.
13. Marketing and Outreach
State Water Board staff participated in six
California Financing Coordinating Committee
(CFCC) funding fairs during SFY 11/12 from
March 2012 to May 2012. The funding
fairs provided members of the public and
infrastructure development professionals’
current information on funding options
available for different project types.
State Water Board staff attended and
participated in the 19th Annual Region
IV Tribal EPA Conference, California
Water Environment Association (CWEA)
2011 and 2012 Annual Conferences, and
the 2012 Green California Summit.
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III.
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B. LONG-TERM GOALS
In its FFY 2012 IUP, California identified the following long-term goals. This
section discusses the results of the CWSRF Program’s efforts to meet these goals.
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2011 -2012
III.
1. Maximize cash flow management
Ideally CWSRF disbursements should be equal to the
Program’s receipts, assuming that the $25 million
minimum cash balance and restricted assets needed
for bond payments and expenses are maintained,
to get the most water quality benefit from the
funds available to the CWSRF Program. Historically,
applicants do not request disbursements as quickly
as originally planned. This lag can cause the cash
balance to increase in the CWSRF account.
The State Water Board during SFY 11/12 made
commitments equal to 200.2 percent of available
funds to compensate for the difference between
projected and actual disbursements. Staff monitored
fund balance trends through its management reports
and finance/audit committee meetings to ensure that
fund balances are not increasing and that sufficient
funds are available to fulfill disbursement requests. Staff also continued to monitor project
disbursement levels relative to the projects’
schedules, and periodically reviewed projects
to ensure that final disbursements are made no
later than six months after completion to ensure
that funds are disbursed in a timely manner.
2. Effectively use revenue and new capital
The CWSRF has sizeable revenue that can be
leveraged to fund more projects at current costs
and address California’s large water quality needs.
3. Maintain financial integrity
The State Water Board continued its credit review and
asset monitoring procedures this year to ensure that
loans are repaid on time and in full. The State Water
Board analyzes each applicant’s financial capabilities
and may impose special conditions on applicants to
lower their default risk. Recipients may be required
to provide ongoing financial information after loan
closing or to complete public outreach if there was
significant disapproval during the public rate setting
process. State Water Board staff also maintained
its “watch list” of financing recipients and potential
applicants that show signs of financial weakness.
All supervisors and managers associated with the
Program are required yearly to file a “Statement
of Economic Interest” with the California Fair
Political Practices Commission, and complete
mandatory ethics training biennially.
Financial statements are being prepared by
State Water Board staff and audited by an
independent auditor. A copy of the audited
financial statements will be posted on the
CWSRF web site once the independent auditor,
CliftonLarsonAllen LLP, completes its audit in
accordance with Government Auditing Standards.
4. To achieve statewide compliance
with water quality objectives and
maximize the environmental benefits
from CWSRF funded projects
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The Program did not need additional capital this
year. Staff are closely monitoring cash flow and
financing forecasts to see whether additional
capital will be needed to fund future projects.
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CWSRF Annual Report SFY 2011-2012
The State Water Board continued its efforts to set
and enforce water quality objectives. The State
Water Board provided financial assistance from
the CWSRF to correct both point and non-point
source pollution problems to help meet these
objectives. The environmental benefits of the
projects financed by the CWSRF during SFY 11/12
are summarized in Section IV of this report.
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5. Finance infrastructure that supports
U.S. EPA’s Sub-Objective 2.2.1 (Improve
Water Quality on a Watershed Basis)
CWSRF financed approximately $785.5 million of
infrastructure improvements during the previous
year that support the Regional Water Boards’
efforts to implement water quality control plans
in their respective regions. Water quality control
plans are developed on a watershed basis.
6. Assist with the State Water Board’s
Plan For California’s Nonpoint
Source Pollution Control Program
and estuary Comprehensive
Conservation and Management Plans
The State Water Board financed one project in
SFY 11/12 to address non-point pollution, storm
water, and estuaries – the Eastern Municipal Water
District (Enchanted Heights Sewer System).
7. Provide good service with a special
emphasis on Disadvantaged
Communities (DACs)
The State Water Board adopted Resolution No. 20080048 to promote strategies to assist small and/or DACs
with wastewater needs. The resolution references
the Small Community Wastewater Strategy. The
Strategy provides an overview of the problems faced
by Small Disadvantaged Communities (SDACs) and
proposed solutions to address those problems.
On November 17, 2011, the State Water Board
executed a contract with California Rural Water
Association (CRWA) to provide up to $500,000 in
wastewater-related technical assistance to SDACs
statewide. The types of technical assistance that
will be offered include: preparation of financial
assistance applications; compliance audits and
troubleshooting to address permit violations or
improve operations; review of proposed project
alternatives to assist in identifying low-cost,
sustainable approaches; assistance with planning and
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budgets, including capital improvement planning;
and assistance with community outreach, awareness,
and education, especially with regard to rate setting
and Proposition 218 compliance. The technical
assistance provided under this contract is intended
to be targeted and specific, with each SDAC allotted
20 hours of technical assistance. DFA staff may
approve additional time on a case-by-case basis.
The State Water Board also previously entered
into a contract with Rural Community Assistance
Corporation (RCAC) to provide wastewater-related
training to SDACs statewide. This assistance was
intended to help improve SDAC’s compliance
and ensure that funds available through the State
Water Board are used as effectively as possible in
implementing practical, cost-effective wastewater
projects that will be adequately maintained over
the long term. A contract extension was not
approved, and this contract expired June 30, 2011. However, all the training materials produced in
association with this contract, including recordings
of the online training sessions, are still available
online. If future resources permit, the State Water
Board may solicit bids for a new training contract. 8. Develop clear, flexible, and
innovative application procedures
Development of a transparent and uniform
application with a clear instruction booklet proceeded
during SFY 11/12. During SFY 12/13, State Water
Board staff will continue its efforts to revamp the
Clean Water State Revolving Fund/Small Community
Wastewater/Water Recycling Application Package.
9. Ensure staff is well trained and
ready to help communities resolve
technical and financial issues
The CWSRF management conducted regular
staff meetings to ensure that staff received upto-date information about the current policies
and procedures affecting the CWSRF Program. CWSRF Annual Report SFY 2011-2012
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III.
Program Goals & Financial Results ............... continued
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A N N UA L R EPORT
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2011 -2012
III.
C. OPERATING AGREEMENT & CAPITALIZATION GRANT CONDITIONS
The State Water Board agreed to a number of conditions in the Operating Agreement
and the Federal Capitalization Grant Agreements. These conditions were met as
described below.
1. Assistance Activity
A total of $785.5 million was financed in SFY 11/12. Approximately 99.4 percent went to wastewater
treatment, collection systems, or wastewater
recycling; Point six percent went to NPS projects.
In SFY 11/12, 59 of the 123 projects listed in the
IUP were funded (see Exhibit C for the reasons
that projects listed in the IUP were not funded). High demand for water quality improvement
funding in California requires the State Water
Board to fund projects on a ready-to-proceed
basis and substitute projects as needed. The
reason(s) projects in the IUP do not get funded
is typically one or more of the following:
• Change to the project’s scope or objectives
• Application requires additional studies, more
•
•
•
•
•
documentation, and/or more hearings
Changes in design
Delays in the bidding process
Financed with other (non-CWSRF) financing
Application withdrawn
Funded as part of another CWSRF
financing agreement
2. Eligible Categories of Projects
and Financing Terms
The State Water Board provided funding for all
eligible categories of projects. The types of
assistance include installment sales agreements
and purchase of debt for the construction
of treatment works or implementation of
non-point source or estuary projects.
or implementation financing is generally amortized
for periods up to 20 years, but can be amortized
over as much as 30 years for SDACs. The terms
associated with financial assistance vary by
applicant and the date the project is approved.
The interest rate applied to financing agreements is
established at the time the project is approved. The
interest rate generally will be one-half the state’s
most recent general obligation bond rate, rounded
up to the nearest one-tenth of a percent. SDACs may
receive lower interest rates upon approval by the
State Water Board and/or under certain conditions
where necessary to make a project affordable.
The CWSRF is over-matched as of this date as
explained below. Therefore, the State Water Board did
not offer the match financing option during SFY 11/12.
3. Provide a State Match
The State Water Board meets its match requirement by
identifying state funds equal to at least 20 percent of
each capitalization grant amount. As of the end of SFY
11/12, the total of the capitalization grants awarded
to the State Water Board was $2.560 billion. Of this
amount, $280 million did not require the 20 percent
match because the funds were from ARRA. As of June
30, 2012, the State Water Board drew $2.106 billion
in CWSRF federal grants that required a 20 percent
match. The required match for the federal grants
drawn by the State Water Board was $421 million.
California uses a combination of state general
obligation bonds repaid outside the CWSRF and funds
contributed by applicants to the CWSRF to meet
the 20 percent match requirement. A total of $626
million in matching funds has been contributed to
the CWSRF. Therefore, California contributed $205
million more to the CWSRF than is required to match
grants drawn as of June 30, 2012. (Note: The National
Information Management System (NIMS) Report
includes all state match contributed to the CWSRF.)
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Principal forgiveness was provided to those applicants
that met the conditions specified by the State
Water Board in the IUP (Section III and Table 4).
The State Water Board offered planning
financing during SFY 11/12. Planning financing
is amortized over five years unless rolled into a
construction financing agreement. Construction
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CWSRF Annual Report SFY 2011-2012
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4. Binding Commitments Within One Year
The State Water Board must make binding
commitments, in the form of executed financing
agreements, to provide assistance in an amount equal to 120 percent of each federal quarterly
payment within one year of that payment. As of June 30, 2012, executed binding
commitments totaled $6.402 billion, or
250 percent of the $2.560 billion in federal
payments received as of June 30, 2012.
5. Expeditious and Timely Expenditure
Numerous factors contribute to meeting this
objective. The State Water Board’s standard practice is
to encumber and disburse federal funds before other
sources of funds. The State Water Board also set a
goal in its FFY 2012 IUP to over commit available funds
at a rate of 105 percent. Both factors contribute to the
goal of efficiently using cash available to the Program.
Expenditure (disbursement) of CWSRF funds
begins soon after a binding commitment is made. Financing recipients request disbursements to cover
past planning and design costs. These requests
are quickly followed by requests for disbursement
of construction costs. Financing recipients can
request disbursements as often as they like. Disbursement requests are processed on a strict
timeframe to ensure timely expenditure. State
Water Board staff review and approve disbursement
requests within 30 calendar days after receipt. The request is then transmitted to the State
Water Board’s accounting department. The
accounting department processes the request
within seven calendar days after receipt and
transmits the request to the State Controller’s
Office (SCO). The SCO then has 10 calendar days
to issue the warrant (check) to the applicant.
The State Water Board draws federal funds from the
US Treasury via the Automated Standard Application
for Payments (ASAP) system as warrants are issued
by the SCO. Draw requests are made within one
week of a warrant being issued. ASAP is a request
and delivery system of federal funds developed by
the Financial Management Service of the US Treasury
and the Federal Reserve Bank. By using ASAP, the
State Water Board is able to draw funds from US
EPA for expenditures incurred by the CWSRF in an
expeditious and timely manner. Requested funds
are deposited electronically the next business day to
the account(s) specified by the State Water Board.
C A L I F O R N I A WA T E R B OA R D S
Federal draws are requested through ASAP on a
monthly basis for the prior month’s administration
costs if taken from the federal grants.
One way to measure the expeditious and timely
expenditure of funds is to compare the amount
of federal funds disbursed (drawn from the US
Treasury) with the total federal payments and
grant awards to the State Water Board. As of
June 30, 2012, $2.106 billion in federal funds
were disbursed. The CWSRF Program received
$2.560 billion in federal payments and $2.560
billion in federal grant awards. Therefore, as of
June 30, 2012, 82.3 percent of the total federal
payments were disbursed and 82.3 percent of
the total federal grant awards were disbursed.
State Water Board staff also periodically compares
the rate at which applicants are requesting
disbursements with the progress of construction
on their projects. Applicants are given appropriate
reminders if they appear to be falling behind with
their projected requests for disbursement.
6. First Use of Funds for
Enforceable Requirements
California met the first-use requirement by providing
financial assistance to those projects on its National
Municipal Policy (NMP) list that do not meet any
of the criteria under part III.B.5. (pp 11-12 of US
EPA’s “Initial Guidance for State Revolving Funds”). The state ensured that all listed projects are on
enforceable schedules. California’s program has
now been expanded to other water quality needs.
7. Eligible Activities
California requires each applicant to submit
a detailed application to ensure that US EPA’s
eligibility requirements are met. All activities
financed were eligible under Section 212, Section
319, or Section 320 of the Clean Water Act.
8. Disadvantaged Business
Enterprise (DBE) Objectives and
Davis-Bacon Requirements
The State Water Board negotiated a total fair share DBE
objective with the US EPA for the CWSRF Program. The objective was 24.0 percent for minority owned
business enterprises (MBE) and 6.0 percent for women
owned business enterprises (WBE) participation for
a combined 30.0 percent goal. The participation on
CWSRF financing agreements reported by financing
CWSRF Annual Report SFY 2011-2012
| 15
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
III.
Program Goals & Financial Results ............... continued
a
III.
A N N UA L R EPORT
|
2011 -2012
recipients in the most recent reporting period was 5.69 percent for MBE and 1.01 percent for WBE. The overall DBE participation was 6.70 percent. While not meeting the actual goal, the State Water
Board met 22 percent of the combined goal of 30
percent. Exhibit A provides a detailed analysis of DBE
participation. The State Water Board will continue
to monitor participation to ensure that the “positive
effort process” is followed by financing recipients.
9. Use of Capitalization Grant
Administration Allowance
All projects financed during SFY 11/12 were required
to comply with Davis-Bacon prevailing wage
requirements. Each financing agreement included
provisions requiring applicants to follow Davis-Bacon
requirements. Staff review reports and verify that
sub-recipients have complied with all Davis-Bacon
requirements. Staff maintain tracking mechanisms
to ensure that federal quarterly baseline monitoring
requirements are met. Records of all documents and
site inspection reports are maintained in the project
files. State Water Board staff review the quarterly site
inspection reports annually to determine whether
the number of site inspections is satisfactory and
modifications to the control activities are needed.
Program and Accounting staff meet bi-monthly
to discuss financial, accounting, and control issues
related to the Program such as DBE and Davis Bacon.
A portion of the CWSRF may be used for
administration of the Program. Up to 4.0 percent
of the amount in capitalization grants awarded to
the Program may be used for administration. Total
capitalization funds awarded to the State Water
Board as of June 30, 2012 were $2.560 billion.
The administration cost (administrative
expenses) incurred during SFY 11/12 was $2.8
million. This amount included Personnel
Services of $1.5 million, Operating Expenses
of $1.3 million, and Bond Fees of $11,000.
As of June 30, 2012, the cumulative total for
administration is $92 million. The maximum available
for administration from the capitalization grants is
$102 million. Therefore, cumulatively 3.60 percent
of the capitalization grants has been incurred in
administering the Program. The balance available for
future administrative expenses from the 4.0 percent
administrative set- aside is $10 million. The balance
will be banked for potential use in the future.
The administrative expenses for SFY 99/00
through SFY 11/12 are shown in Table 2 below.
TABLE 2: ADMINISTRATIVE EXPENSES FOR SFY 1999/2000 THROUGH 2010/2011
FFY
Grant
Year
Cumulative
Grant Amount
including
in kind
Cumulative
Admin.
Costs
$ 10,259,772
$ 1,329,586,055 $ 42,923,670 3.23%
$ 9,213,182
$ 1,424,720,501 $ 47,775,638 3.35%
$(1,437,538)
$ 7,775,644
$ 1,520,066,906 $ 53,027,032 3.49%
$ 4,168,440 $ (379,373)
$ 7,396,271
$ 1,614,793,571 $ 57,195,472 3.54%
$ 4,274,162 $ (482,807)
$ 6,913,464 $ 1,709,577,458 $ 61,469,634 3.60%
Actual
Admin.
Costs
Difference
between
Allowance &
Expenses
Capitalization
Grant
4% Admin.
Allowance
2000
$ 95,987,727
$ 3,839,509
$ 4,099,786 $ (260,277)
2001
$ 95,134,446 $ 3,805,378
$ 4,851,968 $(1,046,590)
2002
$ 95,346,405 $ 3,813,856
$ 5,251,394 2003
$ 94,726,665
$ 3,789,067
2004
$ 94,783,887 $ 3,791,355
Admin.
Surplus
Percent
of
Grants
helping
2005
$ 82,745,541 $ 3,309,822
$ 4,102,135
$ (792,313)
$ 6,121,151 $ 1,792,322,999 $ 65,571,769 3.66%
2006
$ 46,383,876 $ 1,855,355
$ 3,422,947
$(1,567,592)
$ 4,553,559 $ 1,838,706,875 $ 68,994,716 3.75%
2007
$ 92,791,710 $ 3,711,668
$ 4,540,867
$ (829,199)
$ 3,724,360 $ 1,931,498,585 $ 73,535,583 3.81%
2008
$329,208,091
$ 13,168,324
$ 4,009,832
$ 9,158,492
$ 12,882,852
$ 2,260,706,676
$ 77,545,415
3.45%
2009
$ 48,667,707
$ 1,946,708
$ 7,019,543
$ (5,072,835)
$ 7,810,017
$ 2,309,374,383
$ 84,564,958
3.65%
2010
$145,721,000
$ 5,828,840
$ 4,891,000
$ 8,747,857
$ 2,455,095,383
$ 89,455,958
3.66%
2011
$105,570,800
$ 4,222,832
$ 2,860,000
$ 10,110,689
$ 2,560,666,183
$ 92,315,958
3.60%
16 |
CWSRF Annual Report SFY 2011-2012
$ 937,840 $ 1,362,832
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
10. Additional Subsidy and Green Requirements
Total FY Appropriation
FY 2010
FY 2011
$145,721,000
$105,570,800 Principal Forgiveness - amount approved by Board
$72,747,939
$32,610,820 Principal Forgiveness Committed
$71,584,790
$32,311,431 Green Projects Reserve (not less than 20% of the funds)
$29,144,200
$21,122,000 Green Projects Committed
$31,668,638
$137,442,775
11. Federal Cross-Cutters
All projects funded by the CWSRF Program must comply with certain federal laws known as “super crosscutters.” A broader category of federal laws, the “federal cross-cutters,” apply only in an amount equal to the
Capitalization Grants received by the CWSRF Program. To show compliance with the cross-cutter requirement,
the CWSRF reviewed its application of the federal cross-cutters. Through September 2008, the State Water
Board demonstrated compliance with federal cross-cutters on all projects (about $4.0 billion in financing)
provided by the CWSRF Program. The CWSRF Program will have received about $2.66 billion in grants from
US EPA through the FFY 2012. Therefore, CWSRF has exceeded the federal cross-cutter requirement. The Operating Agreement allows for two levels of environmental review for CWSRF projects. The State Water Board
used its alternative environmental review process, also known as the Tier II review, for projects during SFY 11/12. The
Tier II review generally follows the requirements of the California Environmental Quality Act. All applicants, however,
must complete and submit an “Evaluation Form for Environmental Review and Federal Coordination.” State Water
Board staff conducts a Tier I review, including federal agency distribution and consultation, for projects with known or
suspected effects under federal environmental cross-cutting regulations. If a project can adequately document that
there will be “no effect” under federal environmental cross-cutting regulations, then a Tier II review is conducted.
The Federal Funding Accountability and Transparency Act (FFATA) along with associated Office of Management
and Budget (OMB) directives, requires non- ARRA recipients of federal dollars to report recipient and subrecipient information into the FFATA Subaward Reporting System (FSRS), by the end of the month following
recipient or subrecipient award for any amount equaling $25,000 or greater, starting October 1, 2010.
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
III.
Program Goals & Financial Results ............... continued
The CWSRF Program began reporting FFATA data in FFY 2011 based on an equivalency basis,
by choosing loans that equaled the total CWSRF grant amount received from EPA. The CWSRF
Program intends to continue reporting FFY 2012 FFATA loan data, on an equivalency basis, to the
FSRS. The equivalency amount will equal the 2011 CWSRF grant amount of $105,570,800.
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 17
D.FINANCIAL ACTIVITY¹
1. Net Assets
|
2011 -2012
III.
a
A N N UA L R EPORT
Net assets of the program are shown below.
STATEMENT OF NET ASSETS
June 30, 2012 and 2011
($ in thousands)
2012
2011
ASSETS
Current Assets
492,636
491,140
Other Assets
2,938,029
2,816,416
Total Assets
3,430,665
3,307,556
Current Liabilities
25,330
27,070
Non Current Liabilities
93,194
116,686
LIABILITIES Total Liabilities
118,524
143,756
NET ASSETS
Restricted
Unrestricted
Total Net Assets
270,733
352,045
3,041,408
2,811,755
3,312,141
3,163,800
2. Revenues
There are four main sources of funds for the
State Water Board’s CWSRF, as reflected in the
Financial Statements. The total revenues for
SFY 11/12 were $189 million. Revenues for
the period of this report were as follows:
•
•
•
•
•
•
•
Interest income - $49 million
Net investment income - $1.1 million
ARRA Principal Forgiveness receipts - $12 million
Principal Forgiveness receipts - $21.5 million
ARRA capitalization grant - $21.3 million
Capitalization grant - $84.5 million
State match revenue - $170 thousand
3. Disbursements and Expenses
Total disbursements are based on the Financial
Statements and do not include matching funds
provided by financing recipients. Total disbursements
for SFY 11/12 were $391 million. Disbursements for
the period of this report were made as follows:
• Financing agreement disbursements - $325 million
• Cash paid to employees and vendors - $2.7 million
• ARRA Principal Forgiveness
•
•
•
•
disbursements - $12 million
Principal Forgiveness - $21.5 million
Bond fees paid - $11 thousand
Principal paid on revenue bonds - $24.2 million
Interest paid on revenue bonds - $5.9 million
4. Extended Term Financing
and Reduced Interest Rate
The State Water Board has received many requests
for Extended Term Financing (ETF) over the past few
years. In October 2008, US EPA approved the State
Water Board’s request to implement ETF for DACs. The
State Water Board received additional guidance from
US EPA in April 2009. As defined by the State Water
Board in the CWSRF Policy, a DAC is a community with
a population of less than 20,000 persons and either 1) a
community median household income (MHI) less than
80 percent of the statewide MHI or 2) a community
helping
¹Financial activity is based on unaudited financial
statements. The audited financial statements for the year
ending June 30, 2012 will be available after September 30,
2012 on the program’s Web site, and will provide a detailed
view of the CWSRF’s financial activity for the year as well as
management’s analysis of the program’s financial condition.
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CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
with a sewer rate more than 4.0 percent of the
community’s MHI. ETF is available to DACs with
a MHI less than 80 percent of the Statewide MHI
if wastewater rates are 1.5 percent or more of the
DAC’s MHI. A community with a sewer rate more
than 4.0 percent of the community’s MHI may
request approval of ETF from the State Water Board.
On May 15, 2012, US EPA also approved the State
Water Board’s request to implement ETF for
communities that are regionalizing their wastewater
infrastructure. Reducing financing costs through
ETF gives communities an incentive to regionalize
their facilities. Moreover communities can reduce
their per capita cost by regionalizing resulting in
more sustainable infrastructure in the long run.
financing was provided with an extended
financing term of 30 years. The Division
also approved a reduced interest rate of 1
percent, to make the Project affordable.
•
CWSRF Project No. 7401-110, City of Rio
Dell ($12,980,859 in CWSRF financing). The
Project serves a small severely disadvantaged
community with sewer rates exceeding 1.5
percent of the community’s MHI. The Project
qualified for $6 million in CWSRF principal
forgiveness. The remaining financing was
provided with an extended financing term
of 30 years, to make the Project affordable.
•
CWSRF Project No. 7806-110, City of Colfax
($12,825,000 in CWSRF financing). The Project
serves a small disadvantaged community
with sewer rates exceeding 1.5 percent of the
community’s MHI. The Project qualified for
$3.319 million in CWSRF principal forgiveness. Approximately $7.76 million of the total
$12,825,000 CWSRF financing amount was used
to refinance the City’s existing wastewater
debt, including their existing CWSRF financing
agreement for CWSRF Project No. 4470-110. The State Water Board approved an extended
financing term of 25 years. The City’s financing
term could not be extended beyond 25 years,
because the City was required to repay the
new agreement within the existing term of
the refinanced Project No. 4470-110. The State
Water Board also approved a reduced interest
rate of 1 percent, to make the Project affordable.
•
CWSRF Project No. 5275-110, Placer County
Sewer Maintenance District 1 ($58,376,044 in
CWSRF financing). The Project serves a small
disadvantaged community with sewer rates
exceeding 1.5 percent of the community’s MHI. The Project qualified for $6 million in CWSRF
principal forgiveness. The remaining financing
was provided with an extended financing term
of 30 years, to make the Project affordable.
US EPA approved the State Water Board’s requests
to implement ETF on condition that it can
maintain it’s historic, baseline (or average annual)
financing level in the CWSRF Program. The
State Water Board estimated that it can continue
to meet its historic financing level providing
ETF to DAC and regionalization projects.
The March 2009 amendment to the CWSRF Policy
allows a DAC with wastewater rates of 1.5 percent
or more of the DAC’s MHI to receive a reduced
interest rate of not less than zero percent (0%) if
based on the credit review results, ETF is insufficient
to make the project affordable to the DAC. During SFY 11/12, four (4) DAC’s received
$95,093,534 in ETF and three (3) DAC’s
received reduced interest rates, as follows:
•
CWSRF Project No. 5302-110, Heber Public
Utilities District ($10,911,131 in CWSRF
financing). The Project serves a small severely
disadvantaged community with sewer rates
exceeding 1.5 percent of the community’s
MHI. The Project qualified for $6 million in
CWSRF principal forgiveness. The remaining
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 19
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Program Goals & Financial Results ............... continued
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A N N UA L R EPORT
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2011 -2012
III.
•
CWSRF Project 5230-110 and 5230-120, County
of San Luis Obispo (County) – Los Osos
Wastewater Treatment Plant ($86,208,416 in
CWSRF financing). These financing agreements
were executed in SFY 10/11, with an interest
rate of 2.6 percent. The County indicated a
willingness to operate the Los Osos Wastewater
Treatment Plant for the term of the agreement
in exchange for a reduced interest rate. The
State Water Board agreed to reduce the interest
rate to 2.0 percent with the County operating
and maintaining the Treatment Plant until
the financing agreements are repaid in full.
The State Water Board provided approximately
$785 million in CWSRF financing during SFY
11/12. Average annual financing done over
the previous six fiscal years was $422 million. Therefore, the CWSRF was able to meet or
exceed its historic, baseline assistance level
during SFY 11/12 while also providing ETF.
5. Service Charges for Administration
and Small Community Grant Fund
State law allows the State Water Board to collect
two service charges on CWSRF financing: one
to provide a secondary source of revenue for
administration in addition to the administrative
allowance from the Capitalization Grants and
the other to provide revenue for the CWSRF
Small Community Grant (SCG) Fund; the SCG
Fund can provide wastewater grants to SDACs. The total service charge collected for
administration revenue during SFY 11/12 was
$8.3 million. (See Exhibit D) Administrative
service charges were applied consistently with
US EPA’s guidance on program fees such that
they constituted non-program income.
Service charge revenue up to $50 million may
be collected through 2014 to collect funds for
grants to SDACs for wastewater projects. The
helping
San Jacinto Valley Project Boiler Facility
20 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
total service charge collected for wastewater
grant revenue during SFY 11/12 was $7.3 million.
(See Exhibit D) Small community grant service
charges were applied consistently with US
EPA’s guidance on program fees such that
they constituted non-program income.
6. Credit Risk of the CWSRF
Each financing recipient must pledge one or
more dedicated sources of revenue toward
payment of its CWSRF obligation. Dedicated
sources of revenue are generally sewer
rate revenue pledges, but may also be any
number of other revenue sources, special
tax pledges, or other pledgeable income.
San Jacinto Valley Operations & Maintenance Building.
During SFY 11/12, the CWSRF
restructured two agreements.
The City of Colfax requested that the State Water
Board restructure its CWSRF repayments due to
a cash flow shortfall caused by unanticipated
legal expenses. On September 19, 2011, DFA
approved a restructuring of the City’s obligation.
The City of Soledad indicated that it would have
difficulty making its full payments for the first
three years of its loan due to financial conditions
within the City. On December 16, 2011, DFA
approved a restructuring of the City’s payments.
Moreno Valley Filter Influent Pump Station
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
III.
Program Goals & Financial Results ............... continued
In 2011, the allowance for bad debt remains
the same as 2010, at $9.36 million.
State Water Board staff continued efforts to
ensure that the CSWRF’s financing agreements
are secure and that all payments are made on
time and in full. The State Water Board uses a
variety of analysis and monitoring measures
to reduce the possibility of non-payment, and
continues to evaluate additional steps to ensure
full and timely payment of all agreements. San Jacinto Valley Project Digester
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 21
a
A N N UA L R EPORT
|
2011 -2012
IV.
IV. Environmental Benefits
The contributions of the CWSRF to water quality are diverse and difficult
to quantify. Rather than being a weakness of the Program, this indicates
the Program’s strength and versatility in addressing a wide range of water
quality issues. The data and graphics below summarize the environmental
benefits derived from the CWSRF projects funded during SFY 11/12. The data
supporting this summary has been transmitted to US EPA via the CWSRF
Benefits Reporting (CBR) Database. The data indicate that the CWSRF
protected or restored a wide range of beneficial water uses.
A. Projects in SFY 11/12 Will Help Achieve and Maintain Clean Water Act Goals
•
Funded projects will treat
approximately 750 million gallons
per day (mgd) of wastewater.
• Funded projects will serve
8.2 million people statewide.
• Recipients received more than $304 million
in CWSRF subsidy (the subsidy is the amount
of funds saved by recipients due to the
reduced interest rate and/or principal
forgiveness on CWSRF financing).
B. CWSRF Projects Achieve Multiple Benefits
Each CWSRF project provides quantifiable
water quality benefits in more than one
way. Each project was evaluated to
determine its water quality benefits. The
funding provided for each water quality
area in SFY 11/12 is shown on next page.
helping
22 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
Figure 3 (below) provides a different view of the benefits provided by the CWSRF projects funded in SFY 11/12. Figure 3
shows how many projects addressed designated beneficial uses identified in state water quality control plans. Note that
individual projects may have addressed multiple beneficial uses.
FIGURE 3: Number of Projects Addressing Different Beneficial Uses
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
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IV.
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 23
a
A N N UA L R EPORT
|
2011 -2012
IV.
Another way to display the large breadth of environmental benefits from CWSRF projects is shown in Figure 4 (below).
Figure 4 shows a breakdown of funding supporting different designated beneficial uses and other water quality benefits
in comparison to all the funding provided by the CWSRF in SFY 11/12. As can be seen, the CWSRF in SFY 11/12 contributed
broadly to support and protect many different environmental benefits.
FIGURE 4: Percentage of Funding Supporting all Uses and Benefits
helping
24 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
Many of the water quality projects undertaken today are expensive and large. This reflects the level of assistance needed
to continue to improve water quality. Figure 5 (below) shows the average project cost for different project types. The
ability of the CWSRF to fund such large projects is one of its greatest strengths. Many agencies would not be able to
secure such large funding levels from one provider if the CWSRF were not available.
FIGURE 5: Average Project Amount by Water Quality Objective and Outcome
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
IV.
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 25
a
IV.
IV. Project Highlights
Highlights of Projects Funded by CWSRF in SFY 2011/2012
Region #5 Highlights
Region #1 Highlights
• Calaveras County
Water District............................... $ 4.4m
• City of Rio Dell ..................... $ 13.4m
• City of Colfax ............................. $ 12.8m
• City of Dunsmuir...........................$ 5.8m
Region
1:Modesto............................$
North Coast
• City of
128m
• Placer County Sewer
Region #2 Highlights
Region
2: SanDistrict
Francisco
Bay $ 58.3m
Maintenance
1..............
1
• City of Redding...........................$ 20.4m
Region
3: Central Coast
• City of Redding.............................. $ 5.1m
• City of San Leandro .......................$ 43m
Region
4:Redding.
Los Angeles
...........................$ 12.6m
• City of
• Sausalito-Marin City
Sanitary District ...........................$ 2.3m
Region
5: Central Valley
• Santa Nella County
• East Palo Alto
Sanitary District ............................$ 1.7m
Region 6: Lahontan
• City of Redding..............................$ 8.5m
Water District............................... $ 4.2m
• Sutter County................................ $ 1.4m
• City of
........................
$ 4.2m
Region
7: Tehachapi.
Colorado
River Basin
• North Marin Water District . ........ $ 714k
• City of Turlock................................$ 20m
Region
8: Santa Ana
• City of Turlock................................$ 24m
• North Marin Water District.......... $ 1.5m
• North Marin Water District . ........ $ 1.4m
..........................$ 32.1m
• City of
Region
9:Vacaville.
San Diego
• North Marin Water District . ........ $ 357k
• City of Vacaville............................ $ 3.4m
• North Marin Water District . .........$ 1.1m
• City of Vacaville.............................. $ 14m
• North Marin Water District . ........ $ 2.7m
• City of Vacaville..............................$ 68m
• North Marin Water District . .........$ 1.7m
• South Bayside
System Authority .........................$ 7.4m
• South Bayside
System Authority ...................... $ 36.3m
• City of Yuba City............................$ 6.5m
5
• City of Sausalito ............................$ 1.1m
Region #6 Highlights
2
• Susanville Sanitary
District .......................................... $ 2.7m
6
• Victor Valley Wastewater
Rec Authority .............................$ 18.5m
Region #3 Highlights
Region #7 Highlights
• City of Santa Barbara ...................$ 5.2m
• City of Santa Barbara ................... $ 1.6m
• Heber Public
Utility District ........//$10.9m
3
Region #4 Highlights
• City of Anaheim ............................ $ 937k
• City of Anaheim ............................ $ 374k
• City of Anaheim ............................ $ 391k
4
• City of Anaheim ............................$ 923k
• City of Los Angeles........................... $ 3m
7
8
helping
Region #8 Highlights
• Inland Empire
Utilities Agency.......................... $ 20.6m
• Orange County
Water District . ............................. $ 137m
• Santa Ana Watershed
Project Authority .......................$ 16.8m
• Eastern Municipal
Water District . ................................. $ 5m
26 |
9
Region #9 Highlights
• City of Vista ................................... $3.8m
• City of Vista ............................ $5.5m
• City of San Diego.................... $23.4m
CWSRF Annual Report SFY 2011-2012
48 Total Projects
Funded: ..................... $785m
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
V. General Program Comments
During SFY 11/12, the CWSRF focused
on its core activities – administering
existing financing agreements,
approving new financing agreements,
and maintaining thorough financial
and administrative oversight of the
program. Although the State Water
Board continued to administer
ARRA funds during SFY 11/12, the
level of effort associated with ARRA
decreased significantly this past year.
A significant number of ARRA projects
were completed during SFY 11/12, and
more will be completed during SFY
12/13. The State Water Board expects
all ARRA projects will be completed
no later than June 30, 2014.
State Water Board staff resumed
its work during SFY 11/12 on
streamlining and improving the
application process and revamping
the priority setting and project
selection process. The goal of these
efforts is to make the Program
more efficient so that it supports
both stakeholder and the State
Water Board objectives. The State
Water Board staff anticipates
rolling out the new application
process during SFY 12/13.
The State Water Board improved its
feedback to applicants during SFY
12/13. The CWSRF initiated a new
Web report that provides applicants
with the status of their applications.
In SFY 11/12, State Water Board
also successfully transitioned from
centralized to decentralized ARRA
reporting, and began Federal Funding
C A L I F O R N I A WA T E R B OA R D S
Accountability and Transparency Act
(FFATA) reporting in January 2012.
The State Water Board continued
to assist DACs. The State Water
Board continues to collect financing
servicing fees authorized by AB
2356 (Chap. 609, Statutes of 2008)
on CWSRF agreements. The fees
are deposited into the SCG Fund
for grants to SDACs for wastewater
projects. The total service charge
collected during SFY 11/12 was
$7.3 million (See Exhibit D). During
SFY 11/12, $1 million from the AB
2356 grant fund was obligated
to the City of Dunsmuir, a small,
severely disadvantaged community.
The Board is currently working
with several applicants that
potentially qualify for these grant
funds, and anticipates obligating
additional funds to SDACs during
SFY 11/12. In addition, available
principal forgiveness funds are
provided to DACs, as directed by
the Board in the approved IUP.
State Water Board’s Cultural
Resources Officer, Ms. Madeline Hirn,
retired in June 2012. Our efforts to
find a qualified replacement have
not been successful this far, due to
current classification restrictions.
However, we have identified an
Environmental Scientist in the
Environmental Review Unit as the
cultural resources coordinator, and
are requesting that all applicants
submit cultural resources reports
that have been prepared by a
qualified researcher that meets the
Secretary of the Interior’s Professional
Qualifications Standards. State Water
Board will use the processes outlined
in the Operating Agreement (OA) and
approved State Environmental Review
Process (SERP) when reviewing
project environmental documents,
and coordinate and consult with
designated federal agencies when
necessary. State Water Board is in
the process of updating its SERP,
and will submit to the EPA for
review and approval following the
approval of the amended OA.
State Water Board staff continues to
work with staff from the California
Department of Public Health
(CDPH), Department of Water
Resources (DWR), United States
Department of Agriculture (USDA),
US EPA, and related agencies to
identify opportunities to leverage
resources, particularly for SDACs.
This coordination is facilitated by the
State Water Board’s participation in
the California Financing Coordinating
Committee (CFCC) funding fairs.
CFCC funding fairs were held during
March, April, and May 2012, in San
Diego, Riverside, Fresno, Santa
Cruz, Redding, and Sacramento.
As part of a previous contract
with RCAC, emphasizing training
for SDACs, State Water Board staff
utilized RCAC’s online training
platform to record a training session
on the CWSRF application process.
Although the RCAC contract expired
CWSRF Annual Report SFY 2011-2012
| 27
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
V.
A N N UA L R EPORT
|
2011 -2012
V.
June 30, 2011, links to the recording
of that training session, as well as
other training materials prepared
by RCAC, are still available. Links
to those materials can be found on
the Strategy Webpage; they provide
an excellent resource, particularly
for communities that are new to
the CWSRF application process. Division staff intends to provide
new and updated online training
videos once the updated application
process is released to the public.
Through a contract executed
in November 2011, State Water
Board staff is working with CRWA
to provide technical assistance to
SDACs. CRWA provides hands-on
technical and financial expertise to
help SDACs address their individual
needs in the following areas that
a
are commonly difficult for SDACs:
preparation of financial assistance
applications; design and operational
solutions, including compliance
assistance; community outreach,
awareness, and education; fiscal
management and accountability;
capital improvement planning and
asset management; rate setting
and the Proposition 218 process. The State Water Board is committed
to community sustainability, and
has taken an active role in exploring
sustainable practices as seen by its
adoption of Resolution Nos. 20050006 and 2008-0030. The State
Water Board was selected in January
2010 for a Pilot Technical Assistance
Program sponsored by US EPA. The
Program is part of the Partnership
for Sustainable Communities formed
by the Department of Housing and
Urban Development, the Department
of Transportation, and US EPA. The
pilot will help the CWSRF improve
its policies and practices to produce
more sustainable community
outcomes, and build on California’s
history of coordinating CWSRF
financing with other community
objectives to achieve sustainable
community goals. State Water Board
staff worked with US EPA and its
contractor throughout SFYs 10/11
and 11/12 on the pilot. Work on
the project is complete, and staff
received the final report from US EPA
in August 2012. Division staff plans to
recommend CWSRF Policy changes
to the Board during SFY 12/13 based
on the report prepared by US EPA.
helping
Moreno Valley Project - Secondary Clarifier
28 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
VI. Index of Acronyms
COMMONLY USED ACRONYMS
ARRA
American Recovery and
Reinvestment Act of 2009
ASAP
Automated Standard
Application of Payments
CalMuni California Municipal Securities, Inc.
CBR
CWSRF Benefits Reporting
CWA
Clean Water Act
CWEA
California Water Environment Association
CWNS
Clean Watersheds Needs Survey
CWSRF
Clean Water State Revolving Fund
DAC
Disadvantaged Community
DBE
Disadvantaged Business Enterprise
DWQ
Division of Water Quality
ETF
Extended Term Financing
FFATA
Federal Funding Accountability
and Transparency Act
FFY
Federal Fiscal Year
C A L I F O R N I A WA T E R B OA R D S
FSR
Feasibility Study Report
RCD
Resource Conservation Districts
FSRF
FFATA Subaward Reporting System
Regional Water Boards
Regional Water Quality Control Boards
IUP
Intended Use Plan
LGTS
Loans and Grants Tracking System
MBE
Minority Owned Business Enterprise
MGD
Million Gallons per Day
MHI
Median Household Income
NIMS
National Information
Management System
NMP
National Municipal Policy
NPS
Nonpoint Source
RFP
Request for Proposals
SAG
Stakeholder Advisory Group
SCG
Small Community Grant
SCO
State Controller’s Office
SDAC
Small Disadvantaged Communities
SERP
State Environmental Review Process
SFY
State Fiscal Year
OA
Operating Agreement
State Water Board
State Water Resources Control Board
OMBA
Office of Management and Budget
US EPA
United States Environmental Agency
PMIB
Pooled Money Investment Board
WBE Women Owned Business Enterprise
RCAC
Rural Community Assistance Corporation
WRFP
Water Recycling Funding Program
CWSRF Annual Report SFY 2011-2012
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
VI.
| 29
a
A N N UA L R EPORT
|
2011 -2012
VII.
EXHIBITS
ABCD
Exhibit A:
Exhibit B:
Exhibit C:
Exhibit D:
DBE
Report
SFY 11/12
SFY 11/12
Projects Funded
by Needs Category
SFY 11/12
Non-Funded
Projects
SFY 11/12
List of All Projects
with Financing
Servicing Fees
helping
30 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
Exhibit A
DBE REPORT
DBE ANNUAL REPORT
MBE
Semi-Annual ARRA April - September 2011
$3,511,347.47
Semi-Annual Non-ARRA
April - September 2011
Semi-Annual ARRA October - March 2012
Semi-Annual Non-ARRA
October - March 2012
WBE
TOTAL
$590,968.77
$4,102,316.24
$1,651,475.77
$0.00
$1,651,475.77
$2,158,495.13
$955,387.01
$3,113,882.14
$5,036,827.86
$650,039.59
$5,686,867.45
$12,358,146.23
$2,196,395.37
$14,554,541.60
TOTAL DISBURSEMENTS $217,330,763.54
Cumulative Total
Percentage to Total Disbursements 5.69%
1.01%
6.70%
NOTE: Percentage of DBE participation is determined by taking the percentage of MBE and WBE as compared to the total disbursements for the Federal fiscal year for each category. Total
Federal Disbursements equal $217,330,763.54. Total ARRA disbursements equal $120,018,815.22. DBE reports are collected semi-annually based on the Federal Fiscal Year.
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
VII.
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 31
a
Exhibit B
SFY 11/12 PROJECTS FUNDED BY NEEDS CATEGORY
A N N UA L R EPORT
|
2011 -2012
VII.
2011/2012 FUNDED PROJECTS BY NEEDS CATEGORY
Financial Assistance
Project Agreement
Cat. I
Cat. II
Cat. IIIA
Cat. IIIB
Cat. IV-B
Cat. VII-L
Cat. X
Recipient Name
Number
Date
Total
Agreement
Amount
Redding, City of
4971-230
07/22/11
$6,833,749
$1,708,437
$8,542,186
Redding, City of
4971-240
07/27/11
$20,457,000
$20,457,000
Santa Barbara, City of
5859-110
07/28/11
$5,200,000
$5,200,000
San Leandro, City of
7002-110
08/04/11
$43,000,000
$43,000,000
Sutter County
7732-110
08/04/11
$1,400,180
$1,400,180
Sausalito-Marin City Sanitary District
7032-110
08/15/11
$2,298,373
$2,298,373
Inland Empire Utilities Agency
5319-110
08/19/11
$20,608,638
$20,608,638
Anaheim, City of
7620-110
08/19/11
$937,464
$937,464
$374,383
Anaheim, City of
7622-110
08/19/11
$374,383
Anaheim, City of
7630-110
08/19/11
$391,337
$391,337
Anaheim, City of
7800-110
08/19/11
$923,344
$923,344
Vacaville, City of
4841-110
08/25/11
$32,162,246
$32,162,246
Orange County Water District
4463-110
08/30/11
$137,442,775
$137,442,775
Redding, City of
4971-260
09/07/11
$4,120,000
$1,030,000
$5,150,000
North Marin Water District
5211-110
09/21/11
$714,260
$714,260
North Marin Water District
5211-120
09/21/11
$1,529,037
$1,529,037
North Marin Water District
5211-130
09/21/11
$1,456,031
$1,456,031
North Marin Water District
5211-140
09/21/11
$356,606
$356,606
Heber Public Utility District
5302-110
09/30/11
$10,911,131
$10,911,131
Tehachapi, City of
5563-110
09/30/11
$4,242,060
$4,242,060
Santa Nella County Water District
7132-110
09/30/11
$4,293,750
$4,293,750
Modesto, City of
5175-210
10/04/11
$128,161,776
$128,161,776
East Palo Alto Sanitary District
5956-110
10/10/11
$1,700,000
$1,700,000
Colfax, City of
7806-110
10/10/11
$3,078,144
$7,823,616
$1,923,840
$12,825,600
Vacaville, City of
4841-120
10/12/11
$3,497,000
$3,497,000
Vacaville, City of
4841-140
10/12/11
$14,080,000
$14,080,000
Vacaville, City of
4841-130
10/21/11
$68,125,000
$68,125,000
Sausalito, City of
5354-110
10/26/11
$1,100,000
$1,100,000
helping
Santa Ana Watershed Project Authority
5610-110
10/27/11
$16,850,337
Calaveras County Water District
5249-110
12/30/11
$4,420,880
$4,420,880
Turlock, City of
5602-110
12/30/11
$20,000,000
$20,000,000
Vista, City of
5921-110
12/30/11
$3,878,370
$3,878,370
Yuba City, City of
7668-110
01/20/12
$6,500,000
$6,500,000
South Bayside System Authority
5216-110
02/01/12
$7,416,000
$7,416,000
Rio Dell, City of
7401-110
02/09/12
$13,424,895
$13,424,895
Los Angeles, City of
7055-110
03/06/12
$3,000,000
$3,000,000
32 |
CWSRF Annual Report SFY 2011-2012
$16,850,337
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
................ continued
SFY 11/12 PROJECTS FUNDED BY NEEDS CATEGORY
2011/2012 FUNDED PROJECTS BY NEEDS CATEGORY
Financial Assistance
Project Agreement
Cat. I
Cat. II
Cat. IIIA
Cat. IIIB
Cat. IV-B
Cat. VII-L
Cat. X
Recipient Name
Number
Date
Total
Agreement
Amount
Eastern Municipal Water District
7203-110
04/02/12
$5,000,000
$5,000,000
Turlock, City of
5256-110
04/04/12
$24,000,000
$24,000,000
Vista, City of
5698-110
04/17/12
$5,542,770
$5,542,770
Dunsmuir, City of
7820-110
04/27/12
$2,091,600
$1,975,400
$1,743,000
$5,810,000
North Marin Water District
7802-110
05/02/12
$1,134,040
$1,134,040
North Marin Water District
7802-120
05/02/12
$2,690,025
$2,690,025
North Marin Water District
7802-130
05/02/12
$1,656,675
$1,656,675
Placer County Sewer Maintenance District 1
5275-110
05/04/12
$46,700,835
$11,675,209
$58,376,044
South Bayside System Authority
5216-120
05/10/12
$36,300,000
$36,300,000
Santa Barbara, City of
6401-110
05/25/12
$1,600,000
$1,600,000
San Diego, City of
4905-110
06/05/12
$23,469,095
$23,469,095
Redding, City of
5380-110
06/06/12
$12,600,000
$12,600,000
$216,381,033
$448,490,470
$3,666,840
$61,865,653
$20,000,000
$5,000,000
$30,145,312
$785,549,308
TOTAL:
IUP - Intended Use Plan
NPS - Non point Source
C A L I F O R N I A WA T E R B OA R D S
48
NEED CATEGORIES (CAT.)
I - Secondary Treatment
II - Advance Treatment
III-A - Infiltration/Inflow Correction
III-B - Major Sewer System Rehabilitation
IV-A - New Collector Sewers
IV-B - New Interceptors and Appurtenances
VI - Storm Sewers
VII-A - NPS Agricultutal Cropland
VII-C - NPS Silviculture
VII-D - NPS Urban (Except Septic Systems)
VII-E - NPS Ground Water - Unknown Source
VII-F - NPS Marinas
VII-H - NPS Brownfields
VII-K - NPS Hydromodification
VII-L - NPS Septic Systems
X - Recycled Water Distribution
NOTE: In SFY 2011/12 there were 48 binding
commitments totaling $785,549,308 based
on final funding agreement amounts
as of 8/9/2012. Additional adjustments
made during the final funding agreement
amendment process for CWSRF projects
will be reflected in NIMS and CBR. CWSRF Annual Report SFY 2011-2012
| 33
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
Exhibit B
Exhibit C
SFY 11/12 NON-FUNDED PROJECTS
A N N UA L R EPORT
|
2011 -2012
a
2011/2012 INTENDED USE PLAN PROJECTS LIST OF NON-FUNDED PROJECTS
Loan Recipient Name
SOUTH TAHOE PUBLIC UTILITY DISTRICT
Project
Number
IUP Projected
Amount
Priority
Class
Reason
For Delay
Project
Type
C
2, 6
POTW
5608-110
$5,599,964 BANNING, CITY OF
5061-110
$13,200,000 C
2
POTW
VALLEY CENTER MWD
7454-110
$1,701,000 A
2
POTW
VALLEY CENTER MWD
7454-120
$9,464,500 A
2
POTW
VALLEY CENTER MWD
7454-130
$2,331,500 A
2
POTW
SAN CLEMENTE, CITY OF
4516-110
$13,649,920 C
2
POTW
FONTANA, CITY OF
5377-110
$5,200,000 C
6
POTW
FRESNO, COUNTY OF
5541-110
$2,465,000 D
2
POTW
VISALIA, CITY OF
7215-110
$110,000,000 C
2
POTW
GLENDORA, CITY OF
7502-110
$5,382,500 C
2, 4
POTW
IDYLLWILD WATER DISTRICT
7808-110
$1,000,000 C
2, 4
POTW
LOS ANGELES COUNTY SANITATION DISTRICT
4001-480
$14,905,554 B
2
POTW
LOS ANGELES COUNTY SANITATION DISTRICT
4001-560
$36,950,932 B
2
POTW
POTW
LOS ANGELES COUNTY SANITATION DISTRICT
4001-630
$7,063,817 C
5
LOS ANGELES COUNTY SANITATION DISTRICT
4001-640
$20,360,250 C
5
POTW
LOS ANGELES COUNTY SANITATION DISTRICT
4701-420
$10,349,687 B
2
POTW
PATTERSON, CITY OF
5814-110
$12,444,800 C
2, 6
POTW
SANTA CLARITA VALLEY SANITATION DISTRICT
7045-110
$4,750,000 D
2
POTW
TULELAKE, CITY OF
4930-110
$4,000,000 C
8
POTW
STOCKTON, CITY OF
7085-110
$3,250,000 D
2
POTW
YUBA CITY, CITY OF
7113-110
$7,700,000 C
8
POTW
EARLIMART PUBLIC UTILITY DISTRICT
7206-110
$952,600 D
8
POTW
DONNER SUMMIT PUBLIC UTILITIES DISTRICT
7670-110
$23,000,000 D
2
POTW
MORRO BAY, CITY OF
7756-110
$27,500,000 C
2
POTW
HOLTVILLE, CITY OF 7827-110
$4,100,000 A
2
POTW
POTW
HOLTVILLE, CITY OF 7828-110
$5,474,000 C
2
MISSION SPRINGS WATER DISTRICT
4250-310
$10,316,367 D
8
POTW
HI-DESERT WATER DISTRICT
5295-110
$125,000,000 A
2
POTW
helping
MOKELUMNE HILL SANITARY DISTRICT
7821-110
$1,459,459 C
2
POTW
TUOLUMNE UTILITIES DISTRICT
4972-110
$4,600,000 C
6
POTW
ORANGE COVE, CITY OF
5039-110
$6,700,000 B
2
POTW
LAKE OROVILLE AREA PUBLIC UTILITY DISTRICT
5641-110
$3,646,000 D
6
POTW
PLANADA CSD
7649-110
$380,000 C
8
POTW
POTW
STRATFORD PUBLIC UTILITY DISTRICT
7767-110
$114,000 C
2
SAN DIEGO, CITY OF
4905-120
$7,200,000 D
2
POTW
SAN DIEGO, CITY OF
4905-130
$10,000,000 D
2
POTW
34 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
Exhibit C
................ continued
SFY 11/12 NON-FUNDED PROJECTS
2011/2012 INTENDED USE PLAN PROJECTS LIST OF NON-FUNDED PROJECTS
Loan Recipient Name
Project
Number
Priority
Class
Reason
For Delay
Project
Type
MORRO BAY, OF THE BAY FOUNDATION
6701-110
$368,926 B
2
EXP USE
FRESNO COUNTY WATERWORKS DISTRICT NO. 38
7109-110
$500,000 D
1
POTW
EL CAJON, CITY OF
7612-110
$11,280,560 D
2
POTW
FALLBROOK PUBLIC UTILITIES DISTRICT
7613-110
$16,744,708 D
8
POTW
INLAND EMPIRE UTILITIES AGENCY
5318-110
$11,812,500 C
2
POTW
SOUTH COUNTY REGIONAL WASTEWATER AUTHORITY 5233-110
$100,000,000 C
6
POTW
SOUTH COUNTY REGIONAL WASTEWATER AUTHORITY
5233-140
$11,000,000 C
6
POTW
SAN FRANCISCO PUBLIC UTILITIES COMMISSION
5407-110
$574,797 B
5
POTW
SAN FRANCISCO PUBLIC UTILITIES COMMISSION
6310-110
$1,100,185 D
5
POTW
SAN MATEO COUNTY BURLINGAME HILLS SEWER MAINTENANCE DISTRICT 7810-110
$1,000,000 C
2
POTW
SAN MATEO COUNTY CRYSTAL SPRINGS SEWER MAINTENANCE DISTRICT 7811-110
$1,000,000 C
2
POTW
SAN MATEO COUNTY DEVONSHIRE SEWER MAINTENANCE DISTRICT 7813-110
$2,400,000 C
2
POTW
SAN JUAN BAUTISTA, CITY OF 7819-110
$140,000 C
6
POTW
RIO ALTO WATER DISTRICT
7823-110
$65,000 C
2
POTW
GRATON COMMUNITY SERVICES DISTRICT
4986-110
$6,000,000 D
8
POTW
WILLOWS, CITY OF
5535-110
$1,860,000 D
2
POTW
RIO VISTA, CITY OF
5717-110
$4,500,000 D
2
POTW
MADAERA, COUNTY OF
7489-110
$2,500,000 C
2
POTW
THERMALITO WATER AND SEWER DISTRICT
7646-110
$2,687,000 B
2
POTW
4966-110/SCG-907
$8,000,000 C
2
POTW
VISTA, CITY OF 5696-110
$2,021,400 D
2
POTW
VISTA, CITY OF 5700-110
$7,524,344 D
2
POTW
VISTA, CITY OF 6110-110
$973,349 D
2
EXP USE
SOUTH BAYSIDE SYSTEM AUTHORITY
5216-130 $58,000,000 C
2
POTW
MONTEREY, CITY OF
5228-110
$16,800,000 D
2
POTW
CHANNEL ISLANDS BEACH COMMUNITIES SERVICE DISTRICT
7446-110
$1,845,000 E
2
POTW
LA MESA, CITY OF
7822-110
$20,000,000 C
2, 4
POTW
LA MESA, CITY OF
7824-110
$5,000,000 C
2, 4
POTW
AMADOR WATER AGENCY
TOTAL:
IUP Projected
Amount
64
$817,909,619 Reason for Delay:
1. Change to the project’s scope or objectives
2. Application requires additional studies, more documents, and/or more hearings
3. Changes in design
4. Delays in the bidding process
C A L I F O R N I A WA T E R B OA R D S
5. N/A- financed with other (non-CWSRF) financing
6. N/A- application withdrawn
7. N/A - funded as part of another CWSRF financing agreement
8. N/A - CWSRF financing agreement is pending. CWSRF Annual Report SFY 2011-2012
| 35
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
VII.
a
Exhibit D
SFY 11/12 LIST OF PROJECTS WITH FINANCING SERVICING FEES
A N N UA L R EPORT
|
2011 -2012
VII.
LIST OF ALL PROJECTS WITH FINANCING SERVICING FEES
FEE FUND: Small Community Grant
Contract Number
00-808
Project Number
Party
4521-110
Riverbank, City of
07-810
5051-110
Reedley, City of
07-812
4699-110
Crescent City, City of
07-828
4438-110
Colusa, City of
07-829
5085-110
Union Sanitary District
08-804
4729-130
La Mesa, City of
08-813
5055-110
Patterson, City of
08-814
4352-110
Lake Arrowhead Community Services Dist.
08-815
4680-110
Ventura, County of
08-817
4148-110
Rosamond Community Services Dist
08-838
5139-110
Hughson, City of
08-854
4729-140
La Mesa, City of
09-850
4688-110
Oakdale, City of
09-856
5043-110
Galt, City of
FEE FUND: Small Community Grant and Administrative Services
Contract Number
Project Number
Party
00-805
4596-110
Hilmar County Water District
00-806
4685-110
Sacramento, City of
00-815
4465-110
Yreka, City of
00-816
4062-140
Santa Rosa, City of
00-819
4086-110
Lake County Sanitation District
01-802
4173-110
Laguna County Sanitation District
01-804
4655-110
Piedmont, City of
helping
01-815
4771-110
Union Sanitary District
01-816
4684-110
Ventura, County of
01-817
4062-240
Santa Rosa, City of
01-821
4800-110
Redlands, City of
01-825
4790-110
Vallejo Sanitation & Flood Dist.
02-804
4252-410
La Canada Flintridge, City of
02-809
4846-130
Inland Empire Utilities Agency
36 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
Exhibit D ................ continued
SFY 11/12 LIST OF PROJECTS WITH FINANCING SERVICING FEES
LIST OF ALL PROJECTS WITH FINANCING SERVICING FEES
FEE FUND: Small Community Grant and Administrative Services .............. Continued
Contract Number
Project Number
Party
02-810
4772-110
Burlingame, City of
02-811
6061-120
Napa, County Of, Flood Control and Water
02-816
4801-110
North San Mateo County Sanitation District
02-817
4655-120
Piedmont, City of
02-818
4307-110
San Luis Obispo, City of
02-823
4007-610
Alameda, City of
02-824
4728-110
South San Francisco, City of
03-801
4695-110
Escondido, City of
03-811
4655-130
Piedmont, City of
03-848
4783-310
Los Angeles County Sanitation District
05-808
4844-110
North Marin Water District
06-801
4823-110
Sonoma Valley County Sanitation District
06-802
6090-110
The Conservation Fund
06-806
4969-110
Nevada County Sanitation District #1
07-813
5053-110
Union Sanitary District
07-817
6093-110
St Helena, City of
07-835
4790-120
Vallejo Sanitation & Flood Dist.
07-836
5045-110
Union Sanitary District
98-811
4470-110
Colfax, City of
98-811
6050-110
Merced, County of
98-816
4429-110
Thousand Oaks, City of
98-817
4001-260
Los Angeles County Sanitation District
98-826
6026-110
South Lake Tahoe, City of
98-828
6061-110
Napa, County Of, Flood Control and Water
99-830
4452-140
Santa Ana Watershed Project Authority
99-831
4653-110
Sacramento, City of
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
VII.
| 37
a
Exhibit D ................ continued
SFY 11/12 LIST OF PROJECTS WITH FINANCING SERVICING FEES
A N N UA L R EPORT
|
2011 -2012
VII.
LIST OF ALL PROJECTS WITH FINANCING SERVICING FEES
FEE FUND: Administrative Services
Contract Number
00-801
Project Number
Party
4610-120
Vacaville, City of
00-802
4665-110
Stege Sanitary District
00-804
4486-110
Templeton Community Services District
00-809
4708-110
Redding, City of
00-818
4062-220
Santa Rosa, City of
00-825
4062-170
Santa Rosa, City of
00-831
4062-250
Santa Rosa, City of
01-803
4053-110
McCloud Community Services District
01-810
4062-160
Santa Rosa, City of
01-811
4062-230
Santa Rosa, City of
01-813
6036-110
Santa Cruz, County of
01-814
4062-150
Santa Rosa, City of
02-821
4812-110
Napa Sanitation District
02-825
4658-110
Victor Valley Wastewater Rec Authority
02-826
4845-110
Santa Margarita Water District
02-827
4802-110
Corona, City of
03-804
4657-110
Tahoe-Truckee Sanitation Agency
03-806
4528-210
Benicia, City of
03-846
4783-110
Los Angeles County Sanitation District
03-847
4783-210
Los Angeles County Sanitation District
04-802
6085-110
The Nature Conservancy
04-814
4450-110
Coachella Sanitary District
04-815
4252-510
La Canada Flintridge, City of
05-803
4693-110
Petaluma, City of
05-809
4665-210
Stege Sanitary District
05-810
4200-110
Yucaipa Valley Water District
05-811
4729-110
La Mesa, City of
06-803
4971-110
Redding, City of
07-815
4632-110
Alturas, City of
07-816
4728-120
South San Francisco, City of
07-818
4729-120
La Mesa, City of
helping
07-819
4971-210
Redding, City of
07-825
4303-110
East Bay Municipal Utility District
38 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
Exhibit D ................ continued
SFY 11/12 LIST OF PROJECTS WITH FINANCING SERVICING FEES
LIST OF ALL PROJECTS WITH FINANCING SERVICING FEES
Fee Fund: Administrative Services .............. Continued
Contract Number
Project Number
Party
08-816
4916-110
Los Angeles County Sanitation District
93-805
6006-110
Davis, City of
93-810
6022-110
Pacheco Water District
93-819
4330-110
Goleta Sanitary District
94-806
4108-110
Cambria Community Services District
96-805
6014-110
San Luis Water District
96-820
4360-110
Davis, City of
97-804
4001-220
Los Angeles County Sanitation District
97-809
4505-110
Placerville, City of
97-813
6031-110
Mammoth Lakes, Town of
97-814
4648-110
Rialto, City of
97-817
4251-110
Colton, City of
97-827
4614-110
South San Francisco, City of
98-813
4262-110
Humboldt County Res. Imp. Dist. 1
98-818
4001-250
Los Angeles County Sanitation District
98-837
4452-110
Santa Ana Watershed Project Authority
99-802
4704-110
Windsor, Town of
99-805
4610-110
Vacaville, City of
99-807
4679-110
Los Angeles, County of
99-811
4429-120
Thousand Oaks, City of
99-819
4666-110
American Canyon, City of
99-829
4616-110
Calistoga, City of
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
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VII.
| 39
A N N UA L R EPORT
|
2011 -2012
a
helping
40 |
CWSRF Annual Report SFY 2011-2012
C A L I F O R N I A WA T E R B OA R D S
achieve the goal
STATE WATER RESOURCES CONTROL BOARD
Frances Spivy-Weber
Tom Howard
BOARD CHAIR
BOARD VICE-CHAIR
EXECUTIVE DIRECTOR
Charles (Charlie) R. Hoppin of
Yuba City is chair of the State Water
Resources Control Board and fills
the position of water quality expert.
He is a partner in a family operated
diversified farming operation in Yolo
and Sutter counties. Charlie serves
on the California State University
Advisory Committee, and on the
Board of Directors of Farmers Rice
Cooperative. He is a graduate
of Woodland High School and
California State University Chico,
and is a member of the Chico State
Agricultural Advisory Council.
Frances Spivy-Weber of Redondo
Beach is vice-chair of the State Water
Resources Control Board. Before being
appointed to the Board, she served
as the executive director of the Mono
Lake Committee. She also served as
the director of international programs
for the National Audubon Society, was
a legislative assistant for the Animal
Welfare Institute, and a member
of the Bay-Delta Public Advisory
Committee. She has a Masters degree
from the Johns Hopkins University
School of Advanced International
Studies and a Bachelors degree
from the University of Texas.
Thomas Howard has been employed
with the State Water Resources Control
Board for over 26 years. During that
time, Mr. Howard has worked in
many of the water quality and water
rights programs at the Board. He
was appointed Deputy Director
at the Board in October 2000 and
Executive Director in August 2010.
Tam M. Doduc
Steven Moore
Felicia Marcus
BOARD MEMBER
BOARD MEMBER
BOARD MEMBER
Tam Doduc serves as the civil
engineer on the State Water Resources
Control Board. Before being appointed
to the Water Board, Doduc served
as Deputy Secretary at the California
Environmental Protection Agency
(Cal/EPA)., A licensed civil engineer,
Ms. Doduc earned a Bachelor of
Science in BioEngineering from the
University of California at Berkeley, and
a Master of Science in Civil Engineering
from the California State University in
Sacramento. She also earned a Master
of Business Administration from the
University of California at Berkeley.
Steven Moore is the professional
engineer on the Board. Before joining
the Water Board he was a civil engineer
in Marin County. He has worked
more than 20 years on water issues
as a consultant, and as both staff
and a Board Member with the San
Francisco Bay Regional Water Board.
He served on the Federal Aquatic
Nuisance Species Task Force from
2002 to 2006. Mr. Moore was actively
involved in the 2007 update of the San
Francisco Bay Estuary’s Comprehensive
Conservation and Management Plan.
Felicia Marcus is the attorney member
on the Board. Before her appointment
to the Water Board, she was Western
Director for the Natural Resources
Defense Council (NRDC). Prior to joining
NRDC, she served as Executive VP/COO
of the Trust for Public Land, a national
non-profit devoted to conserving
land for people. She also served as the
Regional Administrator of the U.S. EPA
Region IX in the Clinton Administration
and, prior to that, she headed the Los
Angeles’ Department of Public Works.
Charles R. Hoppin
Mr. Howard earned a bachelor’s
degree in chemistry at U.C. Berkeley,
a master’s degree in chemical
engineering at U.C. Davis, and a
master’s degree in chemistry at the
California Institute of Technology.
2012
WRITING & EDITING:
Christopher Stevens
Supervising Water Resources
Control Engineer
Division of Financial Assistance
Bob Pontureri
Senior Water Resources
Control Engineer
Division of Financial Assistance
Kelly Valine
Manager – State Revolving Fund
Division of Financial Assistance
Janice Clemons
Manager – State Revolving Fund
Division of Financial Assistance
Rafaela B. Padilla
Analyst – State Revolving Fund
Division of Financial Assistance
GRAPHIC DESIGN:
Maria Bozionelos
Graphic Designer III
Division of Water Rights
C A L I F O R N I A WA T E R B OA R D S
CWSRF Annual Report SFY 2011-2012
| 41
CL E A N WAT ER S TAT E R E VOLV I NG F U N D
g
Members & Executive Director
CALIFORNIA ENVIRONMENTAL PROTECTION AGENCY
STATE WATER RESOURCES CONTROL BOARD
DIVISION OF FINANCIAL ASSISTANCE • 1001 I STREET • SACRAMENTO, CA 95814